minutes annual meeting erie county water...2018/05/03 · 350 05/03/18 transfers on behalf of the...

345

05/03/18

MINUTES of the ANNUAL MEETING of the ERIE COUNTY WATER

AUTHORITY held in the office, 295 Main Street, Room 350, Buffalo, New York, on the 3rd

day of May 2018.

PRESENT: Jerome D. Schad, Commissioner

Mark S. Carney, Commissioner

Karl J. Simmeth, Jr., Commissioner

Terrence D. McCracken, Secretary to the Authority

Robert J. Lichtenthal, Jr., Deputy Director

Earl Jann, Executive Director

Russell J. Stoll, Executive Engineer

Karen A. Prendergast, Comptroller

Daniel J. NeMoyer, Director of Human Resources

Jacqueline Mattina, Deputy Associate Attorney

Darlene Sikorski-Petritz, Deputy Associate Attorney

Richard Planavsky, Chief Business Officer Manager/Budget Director

John J. Mogavero, Chemist/Chief WTPO

Paul J. Whittam, Director of Water Quality

Susan L. Rinaldo, Cash Manager

Joseph T. Burns, Deputy Administrative Director

Anthony Alessi, Claims Representative/Risk Manager

Steven V. D’Amico, Business Office Manager

ATTENDEES: Sean Dwyer

Mike Wymer

CALL TO ORDER

PLEDGE TO THE FLAG

I. - ROLL CALL

ITEM 1 - NOMINATION OF TEMPORARY SECRETARY

Motion by Mr. Karl Simmeth seconded by Mr. Mark Carney and carried to

appoint Robert J. Lichtenthal, Jr. as Temporary Secretary for the Annual Meeting.

Ayes: Three; Commrs. Schad, Carney and Simmeth

Noes: None

05/03/18

346

ITEM 2 - NOMINATION OF TEMPORARY CHAIRMAN

Motion by Mr. Jerome Schad seconded by Mr. Karl Simmeth and carried to

appoint Mark Carney as Temporary Chairman for the Annual Meeting.


Noes: None

ITEM 3 - NOMINATION OF CHAIRMAN

Nominations were opened for the office of Chairman.

Motion by Mr. Mark Carney seconded by Mr. Karl Simmeth and carried to

nominate Jerome Schad as Chairman of the Erie County Water Authority for the ensuing year.

Motion by Mr. Mark Carney seconded by Mr. Karl Simmeth and carried to move

that nominations be closed.


Noes: None

Motion carried to elect Jerome Schad as Chairman.

At this point, Mr. Mark Carney turned the meeting over to the newly elected

Chairman.

ITEM 4 - NOMINATION OF VICE CHAIRMAN

Nominations were opened for the office of Vice Chairman.

Motion by Mr. Karl Simmeth seconded by Mr. Jerome Schad and carried to

nominate Mark Carney as Vice Chairman of the Erie County Water Authority for the ensuing

year.

Motion by Mr. Karl Simmeth seconded by Mr. Jerome Schad and carried to move that

nominations be closed.


Noes: None

Motion carried to elect Mark Carney as Vice Chairman.

347

05/03/18

ITEM 5 - TREASURER

Nominations were opened for the office of Treasurer.

Motion by Mr. Mark Carney seconded by Mr. Jerome Schad and carried to

nominate Karl Simmeth as Treasurer of the Erie County Water Authority for the ensuing year.

Motion by Mr. Mark Carney seconded by Mr. Jerome Schad and carried to move



Noes: None

Motion carried to elect Karl Simmeth as Treasurer.

ITEM 6 - SECRETARY

Nominations were opened for the office of Secretary.


nominate Terrence McCracken as Secretary to the Erie County Water Authority for the ensuing

year.

Motion by Mr. Karl Simmeth seconded by Mr. Mark Carney and carried to move



Noes: None

Motion carried to elect Terrence McCracken as Secretary to the Erie County

Water Authority.

ITEM 7 - ASSISTANT TREASURER

Nominations were opened for the office of Assistant Treasurer.


nominate Daniel NeMoyer as Assistant Treasurer of the Erie County Water Authority for the

ensuing year.

05/03/18

348




Noes: None

Motion carried to elect Daniel NeMoyer as Assistant Treasurer.

ITEM 8 - ASSISTANT SECRETARY

Nominations are open for the office of Assistant Secretary.


nominate Robert J. Lichtenthal, Jr. as Assistant Secretary to the Erie County Water Authority for

the ensuing year.




Noes: None

Motion carried to elect Robert J. Lichtenthal, Jr. as Assistant Secretary to the

Authority.

ITEM 9 - RENEWAL OF COMMERCIAL CRIME POLICY

Motion by Mr. Karl Simmeth seconded by Mr. Mark Carney and carried that the

Erie County Water Authority ratify the continuation of Public Employee Dishonesty coverage in

the amount of $250,000 for the scheduled positions of Treasurer and Bill Collector and $500,000

for all other employees.


Noes: None

ITEM 10 - AUTHORIZATION TO DESIGNATE DEPOSITORIES FOR FUNDS

349

05/03/18

Motion by Mr. Jerome Schad seconded by Mr. Mark Carney had and carried that

the Erie County Water Authority designate the financial institutions listed below as depositories

for funds collected by the Treasurer:

BANK ON BUFFALO

JP MORGAN CHASE BANK, N.A.

JP MORGAN SECURITIES LLC

KEY BANK OF NEW YORK

M&T BANK

MANUFACTURERS & TRADERS TRUST COMPANY/

WILMINGTON TRUST, N.A.

UBS FINANCIAL SERVICES, INC.

And furthermore, the Treasurer is hereby authorized and directed to execute all necessary

signature cards and other financial institution documents necessary for funds collected by the

Treasurer to be deposited in the named institutions.


Noes: None

ITEM 11 - AUTHORIZATION TO APPROVE THE FOLLOWING TO EXECUTE

ERIE COUNTY WATER AUTHORITY CHECKS ON BEHALF OF THE

ERIE COUNTY WATER AUTHORITY


authorize the following to execute Erie County Water Authority checks on behalf of the

Authority:

Assistant Treasurer

Executive Director

Secretary to the Authority

Treasurer


Noes: None

ITEM 12 - AUTHORIZATION TO APPROVE THE FOLLOWING TO MAKE WIRE

05/03/18

350

TRANSFERS ON BEHALF OF THE ERIE COUNTY WATER

AUTHORITY


authorize the following to make wire transfers on behalf of the Erie County Water Authority:

Assistant Manager of Accounting Services

Cash Manager

Ayes: Three; Commrs. Anderson Schad and Simmeth

Noes: None

ITEM 13 - AUTHORIZATION FOR THE FOLLOWING TO APPROVE WIRE

TRANSFERS VIA BANK CALL BACKS ON BEHALF OF THE ERIE

COUNTY WATER AUTHORITY


authorize the following to approve wire transfers via bank call backs on behalf of the Erie

County Water Authority:

Business Office Manager

Chief Account Clerk

Comptroller


Noes: None

351

05/03/18

ITEM 14 - AUTHORIZATION TO APPROVE THE FOLLOWING TO MAKE

AUTOMATED CLEARING HOUSE (ACH) TRANSFERS ON BEHALF

OF THE ERIE COUNTY WATER AUTHORITY


authorize the following to make payroll ACH transfers on behalf of the Erie County Water

Authority:

See attached list


Noes: None

APPROVED STAFF FOR ACH TRANSFERS

NYS

Retirement

Payroll Direct

Deposit

Payroll

Withholding Taxes

Accounts

Payable

Asst. Mgr. of Accounting

Services

X

X

X

X

Cash Manager

X

X

X

Comptroller

X

X

X

X

05/03/18

352

ITEM 15 - AUTHORIZATION TO APPROVE THE FOLLOWING TO VIEW ALL

DEPOSITORY, COLLATERAL AND INVESTMENT ACTIVITY ON THE

INTERNET ON BEHALF OF THE ERIE COUNTY WATER

AUTHORITY


authorize the following to view all depository, collateral and investment activity on the Internet

on behalf of the Erie County Water Authority:


Business Office Manager

Cash Manager

Chief Account Clerk

Comptroller

Deputy Director


Noes: None

ITEM 16 - AUTHORIZATION TO APPROVE THE FOLLOWING TO EXECUTE

ALL FEDERAL AND STATE TAX RETURNS ON BEHALF OF THE



authorize the following to execute all Federal and State Tax Returns on behalf of the Erie County

Water Authority:


Cash Manager

Comptroller


Noes: None

353

05/03/18

ITEM 17 - AUTHORIZATION TO APPROVE THE ERIE COUNTY WATER

AUTHORITY’S PURCHASING POLICY


approve the attached Erie County Water Authority’s Purchasing Policy for the ensuing year or

until such time as the Erie County Water Authority deems it necessary to amend said Policy.


Noes: None

05/03/18

354


PURCHASING POLICIES

Revised 04/30/2013

355

05/03/18

INDEX

I POLICY

Mission Statement .................................................................................................................................. .1

Code of Ethics. ........................................................................................................................................ 1

Open Vendor Policy ................................................................................................................................ 2

Freedom of Information .......................................................................................................................... 2

Disadvantaged Business Opportunity ...................................................................................................... 2

Procurement Disclosure Policy ............................................................................................................... 3

POLICY

Mission Statement

The Erie County Water Authority purchases goods and services according to its enabling

legislation and charter granted by the State of New York. The purpose of this Policy and

Guideline is to assist each department in the procurement process, while protecting the

Erie County Water Authority and its rate payers by promoting fairness in contracting

with the business community.

The Authority maintains an Open Vendor Policy and welcomes any and all potential

bidders. MBE/WBE/DBE must be certified by the State of New York and/or the County

of Erie for acceptance. The Authority will consider all such business interests.

The Authority’s Central Purchasing Office oversees a bidding process for informal

purchases and supervises all purchasing. The Office of the Secretary to the Authority

supervises all formally bid purchases.

The Authority welcomes purchases through contracts let by the County of Erie and State

of New York Office of General Services.

The Guidelines are a deliberate effort to balance the need to preserve open and fair

competition with the goal of allowing each department flexibility to procure in a manner

which contributes to the fulfillment of their operational mission.

CODE OF ETHICS

The Erie County Water Authority has adopted a Code of Ethics Policy, which all buyers

are responsible for being familiar with and must adhere to in the procurement process.

The policy can be found at ecwa.org.

05/03/18

356

Open Vendor Policy

The Erie County Water Authority invites all vendors to bid in an open-competitive

environment. A vendor may forward to the Central Purchasing Department, by way of

U.S. mail, e-mail, internet, or fax, all relevant information pertaining to their enterprise.

A new Vendor Application form is available on the ECWA website. A list of approved

vendors is developed from this information. Requests for bids or quotes will be solicited

off this list. Buyers select appropriate vendors from the Vendor List for bids and quotes.

Vendors are required to meet our credit and insurance requirements. Certificates of

Insurance are required to be current and approved by Risk Management.

Freedom of Information

The Erie County Water Authority maintains and adheres to all related Freedom of

Information regulations. To ensure proper response, requests should be made in writing

to the Secretary of the Authority. Telephone requests on results of informal purchases

may be made to buyers. Response by this method is at the convenience of the Authority.

Disadvantaged Business Opportunity

It is the desire of the Erie County Water Authority to promote and assist participation by

DBEs, MBEs and WBEs and facilitate a fair share of the awarding of contracts.

The Director of EEO shall maintain a list of all MBE, WBE and DBE entities certified to

perform public work, supply items for purchase contracts or perform personal or

professional services of a kind and nature which may be needed by the Authority.

Buyers will be responsible for referencing such list prior to the publication of a notice of

procurement opportunity or informal solicitation to determine the availability of certified

DBE, MBE and WBE entities.

357

05/03/18

PROCUREMENT DISCLOSURE POLICY

Vendor and Employee Responsibility

It is the responsibility of all Erie County Water Authority vendors and employees to

understand the Policy and State statutes on Procurement Lobbying and recognize

that during the Restricted Period, all contacts with vendors must be through the

designated contact person or Procurement Officer exclusively.

Purpose

As a public benefit corporation, the Erie County Water Authority (the “Authority”) must

conduct its operations in a manner that best serves the interests of its rate payers and the

general public. The Authority expects all members, officers and employees to comply

and cause the Authority to adhere to all the laws and regulations governing business

transactions, including State Finance Law 139j and 139k (the “Statutes”).

This Procurement Disclosure Policy is intended to assure the Authority’s procurement

process conforms to the requirements of the statutes.

Article 1 – Definitions

Article of Procurement

A commodity, service, technology, public work, construction, revenue contract; the

purchase, sale or lease of real property; or an acquisition or granting of other interest in

real property that is the subject of a Governmental Procurement.

Contact

Any oral, written or electronic communication with a Governmental Entity under

circumstances where a reasonable person would infer that the communication was

intended to influence the Governmental Procurement.

Governmental Entity

Any department, board, bureau, commission, division, office, council, committee or

officer of the public authority and/or public benefit corporation.

Offerer

The individual or entity, or any employee, agent, consultant or person acting on behalf of

such individual or entity, that contacts a Governmental Entity about a Governmental

Procurement during the Restricted Period of such a Governmental Procurement.

05/03/18

358

Procurement Contract

Any contract or other agreement for an Article of Procurement involving an estimated

annualized expenditure in excess of Ten Thousand Dollars ($10,000). Grants, Article

11b State Finance Law contracts (i.e. any contract providing for a payment under a

program appropriation to a not-for-profit corporation), intergovernmental agreements,

railroad and utility force accounts, utility relocation project agreements or orders and

eminent domain transactions shall not be deemed procurement contracts.

Procurement Officer

The authorized contact person for a Governmental Procurement.

Procurement Record

The procurement record is the collection of all documents related to a purchase.

Documentation of contacts during the Restricted Period are attached to the Project File,

and/or the Purchasing System.

Proposal

Any bid, quotation, offer, or response to the Authority’s solicitation of submissions

related to a procurement.

Restricted Period

The period of time commencing when by way of resolution the Board of Commissioners

authorize to advertise and/or solicit a Request for Proposal, or bid and/or any other

method of soliciting a response from Offerers, intending to result in a procurement

contract, and ending with the contract awarded by the Board.

Solicitation Materials

Any written materials or invitations, electronic or otherwise.

Article 2 – Ethics Officer

The Ethics Board shall be the voting members of the Board of Commissioners. On an

annual basis, the voting members of the Authority shall appoint a Chairperson of the

Ethics Board. For the purpose of this Policy, that person shall be designated as the

“Ethics Officer.”

Article 3 – Procurement Officers

For each and every governmental solicitation subject to this Statute, the Executive

Director and/or Director of Administration shall recommend for Board approval a

359

05/03/18

“Procurement Officer”, who shall be the designated contact person to whom Offerers

shall make all contacts during the Restricted Period.

Article 4 – Contacts by Offerers

All contacts between an Offerer and the Authority during the Restricted Period for each

procurement contract (annualized in excess of $10,000) shall be made through the

applicable Procurement Officer, unless one of the following exceptions applies:

(a) Submission of written proposals in response to a Request for Proposal, Invitation

for Bid, or any other method of soliciting a response from Offerers intending to

result in a procurement contract.

(b) Submission of written questions to a designated contact set forth in any

solicitation materials.

(c) Participation in a pre-bid conference set forth in solicitation materials.

(d) Complaints made in writing addressed to any empowered legal authority, or

addressed to the Authority’s Board of Commissioners regarding the procurement

process.

(e) Contact by Offerers, who have been tentatively awarded and have been so

notified, for the sole purpose of negotiating the contract.

(f) Contact by an Offerer to designated Authority staff in which an Offerer requests

the review of a procurement award.

(g) Contact by an Offerer before the award with the Claims Representative/Risk

Manager regarding insurance, and/or, with the Director of Equal Employment

Opportunity regarding certifications, relative to meeting terms of the contract to

insure that the contract obligations can be met.

Article 5 –Prohibited Offerer Activities

In addition to utilizing the designated Procurement Officer for all contacts with the

Authority, the following additional rules apply to the Offerer:

(a) Offerer should not attempt to influence the Authority’s procurement in a manner

that would result in a violation of any State or Authority ethics or conflict of

interest statute or policy.

05/03/18

360

(b) Offerer is prohibited from contacting any member, officer, or employee of a

governmental entity other than the Authority (see Law for exceptions) during the

Restricted Period of a pending procurement.

361

05/03/18

(c) Article 6 – Procurement Record

The procurement record is the entire document or documents related to a purchase.

Article 7 – Required Disclosure

The Authority shall incorporate into its Solicitation Materials a summary of the policy

and prohibitions of the Statutes, as well as any and all rules, regulations and standard

Authority Policies and Procedures for said RFP, quotations or bid.

Article 8 – Requirements of the Authority Prior to Awarding Procurement

Contracts

The Authority will make the final determination of award in accordance with its existing

procurement procedures and in compliance with its Code of Ethics Policy, Conflict of

Interest Policy, and State Finance Law provisions.

Article 9 – Procedure for Alleged Violation of Inappropriate Contacts

(a) Any member, officer, or employee of the Authority who becomes aware that an

Offerer may have violated this Policy or the Statutes shall immediately notify the

Ethics Officer who shall immediately investigate.

(b) If the Ethics Officer finds there is sufficient cause to believe the alleged violation

has occurred, he/she shall provide the violating Offerer reasonable notice (in the

form of a certified letter, return receipt requested) informing them of the

allegations and providing them with the opportunity to be heard regarding said

allegations.

(c) Following the opportunity to be heard, if the Ethics Officer determines that the

Offerer has knowingly and willfully violated this Policy, the aforementioned

Statutes, or any other applicable procurement disclosure standards affecting

members, officers, or employees of the Authority, the Offerer shall be subject to

sanctions described in Article 10 hereof.

(d) The Ethics Officer shall report violations to the ethics officer of the appropriate

state agency responsible for reviewing or investigating such matters at the

Authority and shall be designated as the person to receive similar

communications.

05/03/18

362

Article 10 – Sanctions

Upon a finding by the Ethics Officer that an Offerer has knowingly and willfully violated

this Policy, the aforementioned Statutes, or any other applicable procurement disclosure

standards affecting members, officers, or employees of the Authority, the Offerer shall be

subject to the following sanctions, as well as any other penalty permitted by law:

(a) The Offerer shall be deemed “non-responsible” and shall not be awarded the Procurement

contract unless the following special circumstances exist:

i. The award to the offending Offerer is necessary to protect

the public property or public health or safety; and/or

ii. The offending Offerer is the only source capable of supply-

ing the required article of procurement within the necessary

time frame.

(b) In addition, the Ethics Officer shall notify the State Office of General Services of the

finding of non-responsibility. A second finding of non-responsibility within a four-year

period will render the Offerer and its subsidiaries ineligible to submit a proposal or to be

awarded any Procurement Contract for a period of four (4) years from the date of the

second finding of non-responsibility (unless a special circumstance as outlined in Section

A of the State Finance Law).

Erie County Water Authority Report of Contact

Background

New York State Finance Law §139-k (4) obligates every Governmental Entity during the

Restricted Period of a Procurement Contract to make a written record of any Contacts

made. The term “Contract” is defined by statute and refers to those oral, written or

electronic communications that a reasonable person would infer are attempts to influence

the Governmental Procurement. In addition to obtaining the required identifying

information, the Governmental Entity must inquire and record whether the person or

organization that made the Contact was the Offerer or was retained, employed or

designated on behalf of the Offerer to appear before or Contact the Governmental Entity.

It should be noted that State Finance Law §139-k (6) provides: Any communications

received by a governmental entity from members of the state legislature, or legislative

staffs, when acting in their official capacity, shall not be considered to be a “contact”

within the meaning of this section and shall not be recorded by a governmental entity

pursuant to this section.

Instructions

This form is for each Procurement Contract governed by State Finance Law §139-k. All

recorded Contacts shall be included in the procurement record for the Procurement

363

05/03/18

Contract. This form was designed to collect information about initial and subsequent

Contacts on the specified procurement contract during the Restricted Period. However, a

separate form must be completed for each person or organization that Contacts the

Authority about each Procurement Contract. Additional information and guidance on the

“restricted period” and permissible Contacts can be found in the guidelines issued by the

Advisory Council on Procurement Lobbying, which can be found

:http://www.ogs.state.ny.us/aboutOgs/regulations/defaultAdvisoryCouncil.html.

Every Offerer and those designated, employed or retained by Offerers must be informed

of the intention to record the Contact. It is also the Authority’s responsibility that

information is provided to Offerers and others on the statutory Restricted Period,

Designated Contacts and the Permitted Contacts.

http://www.ogs.state.ny.us/aboutOgs/regulations/defaultAdvisoryCouncil.html

05/03/18

364

Erie County Water Authority Report of Contact

Under State Finance Law §139-k (4)

Procurement Record Regarding the following

Project No.________________________ Contract No.___________________

Vendor No.________________________ Budget Item No.________________

Master Purchase Order No. ___________ Purchase Order No._____________

Designated project contact persons of record

__________________________________________________________________________________

(Name and Title)

Was the person making the Contact informed that the Contact would be documented? Yes No

I had contact with the below named individual(s) regarding the above identified procurement. The term “contact” is defined

in State Finance Law §139-k (1) (c). In accordance with State Finance Law §139-k (4), the following information was

obtained.

Name__________________________________________Occupation___________________________________

Company ______________________________________Telephone No.________________________________

Address________________________________________

Is the above named person or organization the “Offerer” in this governmental procurement? Yes No

If no, was the above named person or organization retained, employed or designated by the “Offerer” to:

- appear before the governmental entity about the governmental procurement? Yes No

- contact the governmental entity about the governmental procurement? Yes No

Contact List

Dates: Summary of contact (e.g., email, letter, conversation) and topic of the communication

__________ __________________________________________________________________________ ______

___________ ________________________________________________________________________________

Use additional pages or copies of written communications as necessary. Also properly identify all attachments.

Designated Contact Person: Date:_________________________

(Signature)

I:\FORMS\PURCHASING-FORMS\ReportofContactForm.doc

365

05/03/18

ITEM 18 - AUTHORIZATION TO APPROVE AND EXECUTE

PURCHASE ORDERS AFTER DEPARTMENTAL AND

BOARD APPROVAL


approve the Director of Administration and, in the absence of the Director of Administration the

Comptroller to authorize and execute purchase orders after departmental and Board approval.


Noes: None

ITEM 19 - AUTHORIZATION TO APPROVE AND EXECUTE

ASSOCIATED PURCHASING AGREEMENTS, WARRANTEES

AND MAINTENANCE AGREEMENTS ON DEPARTMENTAL

AND BOARD APPROVED PURCHASE ORDERS NOT TO

EXCEED AN AGGREGATE OF $20,000 PER CALENDAR YEAR PER

VENDOR


approve the Director of Administration to authorize and execute associated purchasing

agreements, warrantees and maintenance agreements on departmental and Board approved

purchase orders not to exceed an aggregate of $20,000 per calendar year per vendor.


Noes: None

05/03/18

366

ITEM 20 - AUTHORIZATION TO APPROVE ECWA MEMEBERSHIP AND

PARTICIPATION IN JOINT PURCHASING ALLIANCES AS

PERMITTED BY LAW


approve the Director of Administration to authorize and execute membership agreements, and

other documents as needed, to enter into joint purchasing associations and alliances as deemed

appropriate and permitted by law, and for the Director of Administration to have supervisory

capacity to manage these procurement relationships.


Noes: None

ITEM 21 - AUTHORIZATION TO APPOINT A LABOR-MANAGEMENT

HEALTHCARE COALTION REPRESENTATIVE

Motion by Mr. Karl Simmeth seconded by Mr. Mark Carney and carried to appoint

Karen A. Prendergast, Comptroller as the Authority’s representative for the Labor-Management

Healthcare Coalition, Inc. for the ensuing year.


Noes: None

367

05/03/18

ITEM 22 - COMMITTEES AND BOARDS


approve that the following committee and board assignments for the coming year be made and

that the Chairman of the Erie County Water Authority will continue to be empowered to name

new committees and assign members.

Finance

Committee

Audit

Committee

Governance

Committee

Ethics

Board

Jerome D. Schad,

Chairman

X X X X

Mark S. Carney, Vice

Chairman

X X X X

Karl J. Simmeth, Jr.

Treasurer

X X X X


Noes: None

ITEM 23 - ADJOURNMENTMotion by Mr. Simmeth seconded by Mr. Schad and carried to

adjourn this annual organization meeting until the next organization meeting to be held on the

first regularly scheduled board meeting after the 27th day of April, 2019.


Noes: None

Terrence D. McCracken

Secretary to the Authority

PJF

minutes annual meeting erie county water...2018/05/03 · 350 05/03/18 transfers on behalf of the...

Documents